Assessing risk and saving you money Financial Regulatory Providing comprehensive solutions to assess risk and save you money, time and resources LICENSING REPORTING AND COMPLIANCE REGULATORY LEGISLATION INTERNATIONAL INVESTIGATIONS Australian financial services, Credit, Life insurance, Superannuation, Banking, Markets, Clearing, Payments Product and distribution design Anti- money laundering China - QFII ASIC and ASX investigations and hearings - NDRC AUSTRAC investigations - QDII Bribery and sanctions - Applications Variations Termination - Documentation Australian Securities & Investments Commission Act - Systems Autonomous Sanctions Act - Business process Banking Compliance: Breach reporting Charter of UN Act Training Corporations Act - Directors Counter-terrorism - Responsible managers Criminal Code Financial Sector (Collection of Data) Act Market Integrity Rules Operating Rules Payment Systems Privacy Sanctions Unfair terms European Class actions - Commissions of inquiry AIFM - FATCA Continuous disclosure, directors duties, insider trading - Dodd Frank Criminal investigations - Volker EDR schemes and systemic issues USA Enforceable undertakings Financial Regulatory Practice Team FINANCIAL SERVICES LICENSING REPORTING AND COMPLIANCE Jim Boynton Joanne Cameron REGULATORY LEGISLATION BROKING AND CUSTODY SUPERANNUATION, LIFE INSURANCE Katherine Forrest Nathan Hodge Kate JacksonMaynes Stephen Jaggers Will McCosker Mark McFarlane Damien Richard Moira Saville Ruth Stringer Alex Morris INVESTIGATIONS Jim Boynton Financial products, structuring, licensing and regulation T +61 2 9296 2086 M +61 419 264 796 [email protected] Joanne Cameron Corporate regulatory inquires, litigation, compliance with regulation regimes T +61 3 9643 4083 M +61 408 559 027 [email protected] Katherine Forrest Financial services regulation, banking, financial products, payment systems, AML, Privacy T +61 3 9643 4129 M +61 408 643 216 [email protected] Nathan Hodge Financial products, reporting, regulatory and superannuation T +61 2 9296 2579 [email protected] Kate Jackson-Maynes Financial services regulation, AML and sanctions, payment systems, privacy and consumer credit T +61 2 9296 2358 M +61 438 487 126 [email protected] Stephen Jaggers Financial products, structuring, licensing, wealth and super T +61 2 6217 6061 M +61 417 622 548 [email protected] Will McCosker Financial products, structuring, licensing and regulation T +61 2 9296 2534 M +61 409 782 101 [email protected] Mark McFarlane Financial products, structuring, licensing and regulation T +61 2 9296 2478 M +61 409 661 130 [email protected] Alexander Morris Corporate regulatory inquires, litigation, compliance with regulation regimes T +61 2 9296 2495 M +61 412 878 650 [email protected] Damien Richard Financial products, licensing, structuring products, stockbroking and regulation T +61 2 9296 2296 M +61 448 728 880 [email protected] Moira Saville Regulatory investigations, special commissions of inquiry and allegations T +61 2 9296 2311 M +61 407 241 824 [email protected] Ruth Stringer Financial products, reporting, regulatory and superannuation T +61 2 9296 2567 [email protected] Global regulatory issues impacting Australia US Dodd Frank – Private fund advisers FATCA Volcker rule EU - AIFMD PRC Hong Kong RMB developments Lehman report Increased enforcement by SFC Increased investor protection Sponsor liability Investor suitability requirements Asia Pacific themes Re-regulation – national and global development Investor protection/ product suitability / wholesale thresholds Cross-border enforcement / cooperation Rapidly evolving regulatory regime in PRC Rise of SWF/global pension funds Singapore Stricter licensing regime SGX listing rules stricter admission criteria Tighter retail marketing QFII RMB funds NDRC “road pass” for outbound nonfinancial investments National Security Review for foreign investments Administration from NDRC to CSRC QDII – overseas investment by insurers Australia Tax changes – MIT regime and proposed IMR regime FOFA (Future of Financial Advice) reforms Stronger Super / MySuper Increased regulatory focus on transparency and liquidity Increased enforcement and class actions AML, sanctions, privacy Assessing risk and saving you money Financial Regulatory Providing commercial solutions to assess risk and save you money and resources “THERE HAS INEVITABLY BEEN A SIGNIFICANT COST AND INVESTMENT OF MANAGEMENT TIME IN RELATION TO IMPLEMENTING INCREASINGLY COMPLEX REGULATORY REFORMS” The KWM financial regulatory team are active in all aspects of the industry, including the major Australian domestic investment and retail banks, fund and asset managers, insurers, wealth advisors, super, life insurers, credit providers and other participants in the financial industry. Our practice is unique as the size of our team allows us to offer clients a ‘onestop-shop’ across a range of issues. Our success and reputation are measured on the commercial application of complex regulatory projects. Coupled with our leading expertise across Asian and European markets, we are able to deliver the insights and solutions to manage your business risks. MAJOR PROJECTS DAVID TURNER, CBA CHAIR 2013 Advising a number of large financial institutions on dealing with ASIC’s and AUSTRAC’s stepped-up activity in investigations and enforcement actions including in the credit and payment spaces Australian Bankers’ Association on the revision of its Code of Banking Practice Major foreign investment banks and fund managers on establishing an Australian businesses including obtaining an Australian financial services licence Advising large fund manager on criminal investigation of employee Banks and other financial institutions on the development of new products, protected equity finance, lending to SMSFs, creation of wealth management platforms, new payment products and systems, electronic and mobile banking Major projects on the provision of services on a cross-border basis Acting in a range of class actions including the Multiplex and Centro class actions
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